Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Dorothea Sue Cole
DOTTIE COLE, DOROTHEA SUE COOPER, DOROTHEA SUE CRAIG
CRD#: 3208277
IA
B
J. W. COLE ADVISORS, INC.CRD#: 112294 9400 RIVER CROSSING BLVD
SUITE 104
NEW PORT RICHEY, FL 34655
SUITE 104
NEW PORT RICHEY, FL 34655
J.W. COLE FINANCIAL, INC.CRD#: 124583 9400 RIVER CROSSING BLVD
SUITE 104
NEW PORT RICHEY, FL 34655
SUITE 104
NEW PORT RICHEY, FL 34655
View By:
5/27/2022
Judgment / Lien
4/20/2017
Judgment / Lien
11/14/2016
Judgment / Lien
4/27/2011
Judgment / Lien
State Registrations
B
Alabama 1/3/2020
B
New York 1/13/2020
B
California 1/17/2025
B
North Carolina 1/6/2021
B
Connecticut 1/3/2020
B
Ohio 1/3/2020
B
Florida 2/6/2019
B
Pennsylvania 1/3/2020
IA
Florida 5/8/2019
B
South Carolina 1/21/2020
B
Georgia 8/6/2020
B
Texas 9/1/2021
B
Illinois 2/26/2020
B
Vermont 1/6/2021
B
Indiana 2/6/2019
B
Virginia 1/3/2020
B
Massachusetts 2/19/2020
B
Washington 1/29/2020
B
Michigan 3/19/2020
B
West Virginia 1/8/2020
B
Nevada 1/21/2025
B
Wisconsin 1/21/2020
B
New Jersey 1/8/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 5/8/2019
B
Registered with this firm since 2/6/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/02/2018 - 02/07/2019 | NEW PORT RICHEY, FL | |
B | 11/02/2018 - 02/07/2019 | NEW PORT RICHEY, FL | |
IA | 05/13/2016 - 11/02/2018 | NEW PORT RICHEY, FL | |
B | 05/13/2016 - 11/02/2018 | NEW PORT RICHEY, FL | |
IA | 12/10/2009 - 05/13/2016 | COLUMBIA CITY, IN | |
B | 12/10/2009 - 05/13/2016 | COLUMBIA CITY, IN | |
IA | 05/01/2006 - 01/04/2010 | FORT WAYNE, IN | |
B | 05/01/2006 - 01/04/2010 | FORT WAYNE, IN | |
IA | 08/27/2001 - 05/01/2006 | FT WAYNE, IN | |
B | 08/06/2001 - 05/01/2006 | CHICAGO, IL | |
B | 04/10/2001 - 07/10/2001 | WASHINGTON, PA |
FORT WAYNE, IN
05/01/2006 - 01/04/2010
FORT WAYNE, IN
05/01/2006 - 01/04/2010
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.